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Tag: regulations

Client Focused Reforms: Time to Leverage Compliance Technology

04.09.2019 0 Compliance

In June 2018, the Canadian Securities Administrators (CSA) proposed a set of reforms calling for more rigorous client best-interest regulations. This proposal was met with...
client best interestRegTechregulations

Countdown to Client Best Interest Regulatory Obligations

12.19.2018 0 Compliance, Customer Experience

The next wave of regulatory requirements link together KYC, KYP, and KYA A lot has been written about the creation of client best interest principles or...
advisorsclient best interestregulations
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